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Results: 1-10 of 90

US Court of Appeals affirms prior ruling on SEC conflict minerals rule
  • Baker & McKenzie
  • USA
  • August 24 2015

On August 18, 2015, the U.S. Court of Appeals for the District of Columbia Circuit affirmed its April 14, 2014 decision in National Association of


SEC developments - June 2015
  • Baker & McKenzie
  • USA
  • June 25 2015

The SEC has released for comment proposed amendments to Rule 15b9-1 in an effort to increase regulatory oversight over proprietary trading firms, and


Disclosure takeaways from U.S. Supreme Court’s Omnicare decision
  • Baker & McKenzie
  • USA
  • April 5 2015

In an eagerly anticipated and widely monitored decision, the U.S. Supreme Court in Omnicare, Inc. v. Laborers District Council Construction Industry


Second Circuit upholds decision that section 10(b) of the Securities Exchange Act has limited extraterritorial applicability.
  • Baker & McKenzie
  • USA
  • January 29 2015

Plaintiff Hedge Funds entered into domestic securities-based swap agreements referencing Volkswagen AG (“VW”) shares. The swap agreements gave the


U.S. District Courts hold that Dodd-Frank whistleblower protections do not apply retroactively
  • Baker & McKenzie
  • USA
  • December 26 2014

In February of this year, a U.S. District Court in New York held that the whistleblower protections under Dodd-Frank Act do not apply retroactively


Federal courts are gravitating towards the Administrative Review Board’s interpretation of protected conduct under SOX
  • Baker & McKenzie
  • USA
  • December 26 2014

On February 24, 2014, in Stewart v. Doral Financial Corp., the San Juan District Court denied the employer's motion to dismiss SOX claims and applied


Favorable employer trends under SOX jurisprudence
  • Baker & McKenzie
  • USA
  • December 26 2014

On February 12, 2014, in Villanueva v. United States Department of Labor, the Fifth Circuit Court of Appeals held that in order to engage in


SOX whistleblower protection extended to private contractors
  • Baker & McKenzie
  • USA
  • December 26 2014

On March 4, 2014, the U.S. Supreme Court ruled in Lawson v. FMR LLC that the Sarbanes-Oxley Act's ("SOX") whistleblower protection extends to


Second Circuit rules that a forum selection clause can trump the FINRA rule requiring arbitration
  • Baker & McKenzie
  • USA
  • November 28 2014

The Financial Industry Regulatory Authority (“FINRA”), which regulates U.S. securities firms, has a rule that its members “must arbitrate a dispute”


Clients & friends newsletter September 2014
  • Baker & McKenzie
  • Belgium, China, New Zealand, Saudi Arabia, United Kingdom, USA, Venezuela
  • September 30 2014

In an unfortunate decision, the Brussels Court of Appeals has upheld a decision by a lower court denying the deductibility of stock option costs